ROLE OF PERMIT OFFICERS AND END-USE ASSURANCES

A CANADIAN PERSPECTIVE

PURPOSE OF PRESENTATION

DEMONSTRATE WHAT MAKES A GOOD PERMIT OFFICER HOW TO SELECT A PERMIT OFFICERTHEIR ROLE AND RESPONSIBILITIESOUTLINE SOME OF THE TOOLS AVAILABLE TO PERMIT OFFICERS

(END-USE ASSURANCES)

OBJECTIVES AND MANDATE

IMPLEMENT/EXERCISE NATIONAL EXPORT CONTROL REQUIREMENTSENSURE COMPLIANCE TO FOREIGN POLICIES AND MULTILATERAL COMMITMENTSIDENTIFY POTENTIAL VIOLATIONS

MAIN RESPONSIBILITIES /P.O.

EVALUATE PERMIT APPLICATIONSENSURE EXPORT IS CONSISTENT WITH NATIONAL EXPORT CONTROL POLICY OBTAIN APPROPRIATE ASSURANCESENSURE END-USE IS LEGITIMATEVERIFY END-USER INTENTIONSLIAISE WITH ENFORCEMENT AGNECIESPREVENT DIVERSIONS

EXPERIENCE AND EXPERTISE

INVESTIGATION TRADE POLICY OFFICERSFOREIGN SERVICE OFFICERSCUSTOMS COMMERCIAL OPERATIONS

QUALITIES TO LOOK FOR

INTEGRETYOBJECTIVITYINQUISITIVE MINDAWARENESS PATIENCEMULTI-DICIPLINARYMETHODICAL

PERSEVERANCESELF MOTIVATEDGOOD ORAL AND

WRITTEN COMMUNICATION SKILLSRESOURCEFULLANALYTICAL SKILLS

TOOLS REQUIRED FOR P.O.

STRONG LEGISLATIVE BASEFIRM REGULATIONSCLEAR POLICIESACCESS TO APROPRIATE INTELLIGENCE

CLEAR MANDATE AND SUPPORT/MGNTOUTREACH INITIATIVESLOOKOUTSDIVERSION ROUTESFRONT COMPANIES

EXPORT CONTROLS AND EXPORT PERMITS

WHY DO EXPORT CONTROLS EXIST?

To control the transfer of strategic goods and technologyTo protect Canadian security and foreign policy interestsTo implement multilateral/bilateral undertakings

NON-PROLIFERATION REGIMES

Basis for most items on the Export Control List (ECL)Focus: Proliferation of Weapons of Mass Destruction (WMD)/Delivery Systems Nuclear Non-proliferation Treaty (NPT) Nuclear Suppliers’ Group (NSG) Missile Technology Control Regime (MTCR) Australia Group (AG) Chemical Weapons Convention (CWC) Biological and Toxin Weapons Convention

(BTWC)

WHEN IS AN EXPORT PERMIT

REQUIRED? Consider:

Type of Goods Destination of Goods Origin of Goods Other Government Departments’ Export

Controls

EIPA REGULATIONS

Export Control ListArea Control List (all goods to Angola & Burma need permits)Automatic Firearms Country Control ListExport Permits RegulationsImport Control ListImport Permits RegulationsIn-transit Regulations

EXPORT CONTROL LIST (ECL)

Group 1 - Dual-use List (Wassenaar)Group 2 – Munitions List (Wassenaar)Group 3 - Nuclear Non-proliferation List (NSG)Group 4 - Nuclear Dual-Use List (NSG)Group 5 - MiscellaneousGroup 6 - Missile Technology Control Regime ListGroup 7 - Australia Group/Chemical Weapons ConventionGroup 8- UN Chemical Action Task Force (Illicit Drugs)

ROLE OF EXPORT CONTROLS DIVISION (EPE)

Approximately 20 officers and six support staff3-4000 permits each yearTechnical officers assess documentation to determine: Control status of goods

For export purposesFor CGP registration purposes

Permit Officers: Review documentation I.e End-use documents Conduct consultations Recommend approval or denial

CONSULTATIONSPermit officer undertakes consultation depending on the control status with: DFAIT geographic divisions Arms Control and Disarmament Division Human Rights Division Regional Security Divisions Intelligence Division National Defence Canadian Security Intelligence Service Canadian Nuclear Safety Commission

(Nuclear)

CONSULTATIONS

Consultees review according to their area of expertise: Defence and industrial relations with

recipient country Strategic impact of export Regional peace and stability, including civil

conflict Human rights situation End-use documentation and risk of diversion

APPROVALS

Minister of Foreign Affairs approves all controlled goods with offensive capability, except to NATO or like-minded countriesMinister is also consulted about non-offensive exports, if concerns ariseOnce ministerial decision received, permit issued, or applicant advised of denial No formal appeal process

MILITARY EXPORTS

“Military Goods and Technology”Specially designed/ modified for

military use• Individual Permits for all destinations• Except the United States, in most cases

END-USE ASSURENCES

A LEVEL OF COMFORT

END-USE DOCUMENTATION

Required to prevent diversion of controlled commodities to unauthorized end-users/end uses Depending on destination and goods EPE may request: International Import Certificates (IIC) Delivery Verification Certificates (DV) Import Licenses (IL) End-use Certificates (EUC) End-use Statements (EUS)

BASIC ELEMENTS OF END-USE DOCUMENTATION

Name and Address of Exporter

Name and Address of ImporterName and Address of Intermediate ConsigneesName and Address of End-UserDetailed Description of Goods, Quantities and ValuesSpecific End-use of GoodsCertification that goods will be installed in end-user’s premises and used only by end-userCertification that goods will not be diverted to another destination, trans-shipped or re-exportedAssurances that goods will only be re-exported under authorization of importer’s licensing authorities

FOREIGN GOVERNMENT RE-TRANSFER APPROVALS

Some countries impose re-transfer approval requirementsSuch re-transfers could occur in-country or on re-exportFor instance, US regulations require that certain US goods/technology may require:

US Government approval if transferred within Canada; or US Government approval if exported from Canada

QUESTIONING THE DOCUMENTS

Forgeries / alterationsPoints of contact/authorized personsConfirmation of validityRevocation / suspensionPrelicensing checks – when in doubt, have embassy verify consignee

Establishing Standards

Security paperLimited list of authorising agentsContact dataAccepting originals only

Delivery Verification

Closing the Loop

Clear and accurate information

Full name, address and contact details for the exporter and importerDescription of goods, incl. serial numberCopies of all customs import documents

Delivery VerificationMethod to the madness (1)

Exporting government sets the Delivery Verification (DV) as a condition to export permit

Exporter requests Importer for DV

Importer applies to importing Government and supplies proof of entry (customs clearance docs)

Method to the Madness (2)

Importing Government approves DV, sends copy to importer, sends copy to exporting government

Importer sends the copy to exporter

Exporter sends to exporting government

Exporting government matches the two to ensure no alteration

QUESTIONS?

CONTACT US

Mailing address:Department of Foreign Affairs & International Trade

Export Controls Division125 Sussex Drive, C6Ottawa, Ontario K1A 0G2

Telephone: (613) 996-2387Fax: (613) 996-9933Web Site:

www.dfait-maeci.gc.ca/~eicb